DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
B••••••••• F•••••••• A•••••••• I•••
Latest filing Mar 7, 2026
First filing on the tape Feb 8, 2012 · 19 filings
SEC status approved since Apr 13, 2020
RAUM
$483M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$482M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$96.6M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$483M as of Mar 7, 2026
Feb 8, 2012$47.2M then
HNW client RAUM$434M as of Mar 7, 2026
Mar 23, 2021$102M then
State-registered IARs (5.B.3)5 as of Mar 7, 2026
Mar 23, 20215 then
Employees (5.A)8 as of Mar 7, 2026
Mar 23, 20216 then
Private funds: no history
RAUM +23% over the last fiscal year+33% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $96.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $453,256derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$434M90%
- Individuals$47.3M9.8%
- Corporations and businesses$1.3M0.3%
- Charitable organizations$160,1650.0%
- Individual clients
- 169reported
- HNW clients
- 152reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 1,066reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J••••• G••••••Chartered Financial Analyst | Baltimore, Md | Apr 18, 2008 | 33 y | 1 |
| J•••••• A• M•••••Chartered Financial Analyst | Baltimore, Md | May 2, 2016 | 13 y | 0 |
| A•••••••• E•••••••• S••••••Certified Financial Planner | Baltimore, Md | Dec 21, 2016 | 11 y | 0 |
| J•••• A••••• R•••••• | Baltimore, Md | Jun 30, 2023 | 28 y | 1 |
| M••• J••••• T•••••••Certified Financial Planner | Baltimore, Md | Apr 30, 2024 | 17 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- R•••••• J••••••• B••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 16, 2024 · RIA to affiliated broker-dealer or bank
- G••••••• T••• to V••••••• C•••••• A•••••••• L••Feb 10, 2023 · RIA to RIA
- B••••••• L••• R•••• to A••••• F•••••••• A•••••••• L••Aug 22, 2017 · Other
Joined, latest
- M••• J••••• T••••••• from R•••••• F•••••••• P•••••••• L••Apr 30, 2024 · Other
- J•••• A••••• R•••••• from V•••••••• F•••••••• P•••••••• L••Jun 30, 2023 · Other
- D••••• J••••• G•••••• from H•••• C•••••• M•••••••••Apr 18, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• D•••••• J••••• · President And Chief Compliance Officercontrolsince 01/2008 · owns 50% to 75%
- M•••••• J••••••• A• · Vice Presidentcontrolsince 11/2012 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Baltimore, Md · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,006 to 1,066Jan 30, 2025 to Mar 7, 2026
- Advisory employees · 6 to 5Jan 30, 2025 to Mar 7, 2026
- HNW clients · 130 to 152Jan 30, 2025 to Mar 7, 2026
- Individual clients · 189 to 169Jan 30, 2025 to Mar 7, 2026
- Financial planning clients · 1-10 to 51-100Jan 30, 2025 to Mar 7, 2026
- State-registered IARs · 6 to 5Jan 30, 2025 to Mar 7, 2026
- Discretionary RAUM · $364M to $456MJan 30, 2025 to Mar 7, 2026
- HNW RAUM · $340M to $434MJan 30, 2025 to Mar 7, 2026
- Individual RAUM · $52.0M to $47.3MJan 30, 2025 to Mar 7, 2026
- Non-discretionary RAUM · $29.0M to $27.3MJan 30, 2025 to Mar 7, 2026
- RAUM · $393M to $483MJan 30, 2025 to Mar 7, 2026
- Accounts · 969 to 1,006Mar 21, 2024 to Jan 30, 2025
- Advisory employees · 5 to 6Mar 21, 2024 to Jan 30, 2025
- Corporate clients · 2 to 3Mar 21, 2024 to Jan 30, 2025
- HNW clients · 111 to 130Mar 21, 2024 to Jan 30, 2025
- Individual clients · 212 to 189Mar 21, 2024 to Jan 30, 2025
- Employees · 6 to 8Mar 21, 2024 to Jan 30, 2025
- Financial planning clients · 1-10 to 1-10Mar 21, 2024 to Jan 30, 2025
- State-registered IARs · 5 to 6Mar 21, 2024 to Jan 30, 2025
- Discretionary RAUM · $295M to $364MMar 21, 2024 to Jan 30, 2025
- HNW RAUM · $254M to $340MMar 21, 2024 to Jan 30, 2025
- Individual RAUM · $53.4M to $52.0MMar 21, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $13.4M to $29.0MMar 21, 2024 to Jan 30, 2025
- RAUM · $308M to $393MMar 21, 2024 to Jan 30, 2025
- Accounts · 799 to 969Jul 14, 2023 to Mar 21, 2024
- HNW clients · 78 to 111Jul 14, 2023 to Mar 21, 2024
- Individual clients · 186 to 212Jul 14, 2023 to Mar 21, 2024
- Employees · 7 to 6Jul 14, 2023 to Mar 21, 2024
- Financial planning clients · 11-25 to 1-10Jul 14, 2023 to Mar 21, 2024
- Discretionary RAUM · $192M to $295MJul 14, 2023 to Mar 21, 2024
- HNW RAUM · $164M to $254MJul 14, 2023 to Mar 21, 2024
- Individual RAUM · $39.0M to $53.4MJul 14, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $11.5M to $13.4MJul 14, 2023 to Mar 21, 2024
- RAUM · $203M to $308MJul 14, 2023 to Mar 21, 2024
- Accounts · 662 to 799Aug 10, 2022 to Jan 11, 2023
- Charity clients · 2 to 3Aug 10, 2022 to Jan 11, 2023
- HNW clients · 63 to 78Aug 10, 2022 to Jan 11, 2023
- Individual clients · 146 to 186Aug 10, 2022 to Jan 11, 2023
- Discretionary RAUM · $157M to $192MAug 10, 2022 to Jan 11, 2023
- HNW RAUM · $134M to $164MAug 10, 2022 to Jan 11, 2023
Signals
5 dated events
- B••••••••• F•••••••• A•••••••• I••• reported RAUM $308.1M, up 52% from $203.2M (2023-07-14 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- R•••••• J••••••• B••••••• left B••••••••• F•••••••• A•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-03-15)Jan 16, 2024 · Advisor changed firm · fact
- G••••••• T••• left B••••••••• F•••••••• A•••••••• I••• for V••••••• C•••••• A•••••••• L•• (registered 2023-05-11)Feb 10, 2023 · Advisor changed firm · fact
- A. Jeffrey Malcom (Vice President) appeared on Schedule A of B••••••••• F•••••••• A•••••••• I•••Mar 13, 2020 · Control person joined · fact
- B••••••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Mar 13, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@buttonwoodfa.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-988-2391reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/buttonwoodfareportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-988-2391reportedpublic record, Form ADV, Mar 7, 2026
- Contact form
- buttonwoodfa.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- buttonwoodfa.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $96.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026